Tammy Li is a director at Duff & Phelps.

Tammy is a director in the Financial Services Compliance and Regulation practice with over eighteen years' experience in the financial services industry. Tammy has strong expertise in governance, risk and compliance, with technical specialism in Markets regulation, including market abuse surveillance, transaction reporting and electronic / algorithmic trading arrangements.

Tammy has led and managed large scale FCA Skilled Person reviews, regulatory remediation projects and regulatory due diligence reviews.

Tammy has subject matter expertise within markets and trading infrastructures, processes, systems and controls, including market conduct and trade surveillance, electronic and algorithmic trading and transaction reporting. Tammy has strong knowledge of a range of financial products, including equities, fixed income, interest rates, FX, cryptocurrency regulation, commodities and complex derivatives, from both trading, reporting and compliance monitoring and surveillance perspectives.

Tammy qualified at Ernst & Young as an auditor in the Banking & Capital Markets department, where she spent four years specializing in top tier investment banks including Nomura, Lehman Brothers, and ABN Amro. Her experience included comprehensive reviews of trading and operational processes, procedures and controls.

Tammy then joined Morgan Stanley within Fixed Income Product Control performing daily P&L attribution, reconciliation and reporting, new deal reviews of exotic derivatives, trade valuation assessments and investigation of large and unusual trading activity.

Tammy is a Chartered Accountant of the Institute of Chartered Accountants of Scotland (ICAS).

Financial Services Compliance and Regulation

End-to-end governance, advisory and monitorship solutions to detect, mitigate, drive efficiencies and remediate operational, legal, compliance and regulatory risk.

Regulatory Advisory and Assurance Services

Within our Regulatory Advisory and Assurance Services, we assist financial services firms in a range of engagements across our suite of subject matter expertise.